Diversity and Inclusion Data Accountability and Transparency Act of 2021

H.R. 4521, America Competes Act of 2022, all provisions; S. 1260, United States Innovation an Competition Act, all provisions; H.R. 1996/ S.910, Safe Banking Act of 2021, all provisions; H.R. 1187, ESG Disclosure Simplification Act, all provisions; H.R. 2123, Diversity and Inclusion Data Accountability and Transparency Act, all provisions; H.R. 1277, Improving Corporate Governance Through Diversity Act, all provisions; H.R. 4277, Overdraft Protections Act, all provisions; H.R. 8874/S.4674, Credit Card Competition Act of 2022, all provisions; Crypto currency, general education; ESG general education; SBA program education; CRA modernization general education; cyber security general education.

Client expense: $125,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 4521, America Competes Act of 2022, all provisions; S. 1260, United States Innovation an Competition Act, all provisions; H.R. 1996/ S.910, Safe Banking Act of 2021, all provisions; H.R. 1187, ESG Disclosure Simplification Act, all provisions; H.R. 2123, Diversity and Inclusion Data Accountability and Transparency Act, all provisions; H.R. 1277, Improving Corporate Governance Through Diversity Act, all provisions; H.R. 4277, Overdraft Protections Act, all provisions; H.R. 8874/S.4674, Credit Card Competition Act of 2022, all provisions; Crypto currency, general education; ESG general education; SBA program education; CRA modernization general education; cyber security general education.

Client expense: $125,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 699- Mutual Fund Litigation Reform Act (Emmer) H.R. 1277- Improving Corporate Governance Through Diversity Act of 2021 (Meeks) H.R. 2123- Diversity and Inclusion Data Accountability and Transparency Act (Beatty) H.R. 2265- Financial Exploitation Prevention Act (Wagner) H.R. 3412- Alleviating Stress Test Burdens to Help Investors Act (Loudermilk) H.R. 3899- Financial Stability Oversight Council Improvement Act (Foster) H.R. 4262- Increasing Investor Opportunities Act (Gonzalez) H.R. 8521- INvestor Democracy is EXpected (INDEX) Act (Huizenga) H.R. 9089- Consumer Financial Choice and Capital Markets Protection Act of 2022 (Williams) S. 374- Improving Corporate Governance Through Diversity Act of 2021 (Menendez) S. 2684- Consumer Financial Choice and Capital Markets Protection Act of 2021 (Toomey) S. 3919- Reporting Requirements Reduction Act of 2022 (Tillis) S. 3945- Restoring Shareholder Transparency Act of 2022 (Haggerty) S. 3948- Increasing Investor Opportunities Act (Daines) S. 3961- Access to Small Business Investor Capital Act (Daines) S. 3965- Increasing Access to Adviser Information Act (Moran) S. 4241- INvestor Democracy is EXpected (INDEX) Act (Sullivan) Diverse Investment Advisers Act (draft) Diversity and Inclusion in the Asset Management Industry Improving Disclosure for Investors Act (draft) Processing fees for delivering investment materials Russia Sanctions/Executive Orders SEC data security/Consolidated Audit Trail breach notification SEC money market fund proposal SEC proposed amendments to the Fund Names Rule SEC proposed Investment Adviser and Fund Disclosures about ESG Investment Practices SEC public company climate disclosure proposal

Client expense: $1,230,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Monitor H.R.2001, Diversity Data Accountability Act and H.R.2123, Diversity and Inclusion Data Accountability and Transparency Act; monitor draft legislation to require diversity and inclusion data from regulated entities.

Client expense: Not reported · Firm income: $90,000

Government targets: HOUSE OF REPRESENTATIVES

H.R. 2123, Diversity and Inclusion Data Accountability and Transparency Act SECURE Act 2.0 retirement savings legislation ENABLERS Act/National Defense Authorization Act

Client expense: $80,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)

ISSUEDiversity, Equity, and Inclusion Initiatives ISSUEPaid Medical and Family Leave ISSUENational Data Privacy Standard ISSUESystemic Risk/Capital Standards PL 111-203, Dodd-Frank Wall Street Reform and Consumer Protection Act - provide financial regulatory reform, to protect consumers and investors, to enhance federal understanding of insurance issues, and other purposes. ISSUEAutonomous Vehicles ISSUE Federal Pandemic Risk Programs ISSUE Insurance Underwriting HR 842/S 420, Protecting the Right to Organize (PRO) Act - amend the National Labor Relations Act, the Labor Management Relations Act, 1947, and the Labor-Management Reporting and Disclosure Act of 1959, and for other purposes. HR 528, Financial Stability Oversight Council (FSOC) Reform Act - place FSOC and the Office of Financial Research under the regular appropriations process and to provide for certain quarterly reporting and public notice and comment requirements for the Office of Financial Research. HR 1523/S 526, Modern Worker Empowerment Act - to amend the Fair Labor Standards Act of 1938 to harmonize the definition of employee with the common law. HR 5, Equality Act - prohibits discrimination based on sex, sexual orientation, and gender identity in areas including public accommodations and facilities, education, federal funding, employment, housing, credit, and the jury system. HR 1277/S 374, Improving Corporate Governance Through Diversity Act - prohibits an automobile insurer from considering specified factors when determining a consumer's insurance rates or eligibility. HR 1270, PAID Act - prohibits an automobile insurer from considering specified factors when determining a consumer's insurance rates or eligibility. HR 1255/S 377, Living Donor Protection Act - promote and protect from discrimination living organ do HR 1816, Information Transparency & Personal Data Control Act - require the Federal Trade Commission to promulgate regulations related to sensitive personal information, and for other purposes. HR 1512, CLEAN Future Act - build a clean future by addressing the climate crisis, protecting the health, and putting the Nation on the path to a net-zero greenhouse gas economy by 2050. S 524, Federal Insurance Abolishment Act - to eliminate the Federal Insurance Office. HR 1549/S 588, Addressing Climate Financial Risk Act - establish the Advisory Committee on Climate Risk on the Financial Stability Oversight Council. HR 1641/S 638, Promoting Infrastructure by Protecting Our Subcontractors and Taxpayers Act - to include a payment and performance security requirement for certain infrastructure financing. HR 1187, ESG Disclosure Simplification Act of 2021 - requires an issuer of securities to annually disclose to shareholders certain environmental, social, and governance metrics. S 653, Coordination of Medicare Payments and Workers Compensation (COMP) Act - provide for the application of MSP rules to certain workers' compensation settlement agreements and qualified Medicare set-aside provisions. HR 2068/S 862, CLAIM Act - safe harbor for insurers engaging in the business of insurance in connection with a cannabis-related legitimate business. HR 1996/S 910, SAFE Banking Act - create protections for financial institutions that provide financial services to cannabis-related legitimate businesses S 574, PROTECT Asbestos Victims Act - improve asbestos trust claim transparency. S 840, Litigation Funding Transparency Act - increase transparency and oversight of third-party litigation funding. HR 358, FRESH Trucking Act - modifies service hour requirements for drivers transporting perishable agricultural, horticultural, or floricultural commodities. HR 1799, PPP Extension Act of 2021 - extend deadlines for the Paycheck Protection Program. HR 2467 PFAS Action Act of 2021 -- require EPA to designate per- and polyfluoroalkyl substances as hazardous substances HR 2570/S 1217 Climate Risk Disclosure Act of 2021 -- directs SEC to require issuers to disclose information regarding climate change-related risks. HR 2001 Diversity Data Accountability Act - requires regulated entities to report to the Offices of Women and Minority Inclusion within specified financial agencies. HR 1087 Shareholder Political Transparency Act -- requires disclosure of information related to expenditures for political activities HR 3099 Primary Regulators of Insurance Vote Act -- To include the State insurance commissioner as a voting member of the FSOC. HR 3962/S 1625 SECURE Notarization Act -- To authorize notaries public to perform, and to establish minimum standards for, electronic notarizations and remote notarizations S 1805SHELTER Act -- allows a tax credit to individuals and businesses for disaster mitigation expenditures. S 1896Algorithmic Justice and Online Platform Transparency Act -- To prohibit the discriminatory use of personal information by online platforms in any algorithmic process HR 3571/S 1876 Climate Change Financial Risk Act of 2021 -- To require the Fed to develop and conduct financial risk analyses relating to climate change, and for other purposes. HR 3664 SMART Act -- to provide for an exception from patent infringement for certain component parts of motor vehicles. HR 3676 To amend title 23, United States Code, to establish national standards relating to sanctions for individuals who drive a motor vehicle, with a child passenger in the vehicle, while intoxicated or impaired, and for other purposes. HR 3711 SELF DRIVE Act -- to provide safety measures for over highly automated vehicles HR 1187 Corporate Governance Improvement and Investor Protection Act - to require annual disclosure of certain ESG metrics. HR 3675 Drug-Impaired Driving Education Act -- To establish a grant program to educate the public on the dangers of drug-impaired driving, and for other purposes. HR 3757/S 1999 Multiple Substance Impaired Driving Prevention Act -- To authorize the use of certain Federal funds for multiple substance impaired driving countermeasures HR 3899 Financial Stability Oversight Council Improvement Act of 2021 -- To amend the Financial Stability Act of 2010 to require the Financial Stability Oversight Council to consider alternative approaches before determining that a U.S. nonbank financial company shall be supervised by the Board of Governors of the Federal Reserve System, and for other purposes. DRAFT Consumer Information Notification Requirement Act -- to provide a national standard for financial institution data security and breach notification. S 919 Data Care Act of 2021 -- imposes various duties on online service providers with respect to their handling of individual-identifying data 4614 Resilient Federal Forests Act of 2021 - improve forest management activities on National Forest System lands HR 4675/S 2432 Catastrophe Loss Mitigation Incentive and Tax Parity Act of 2021 - excludes from gross income qualified catastrophe mitigation payment made under a state-based catastrophe loss mitigation program. HR 4866 Federal Insurance Office Elimination Act - to abolish FIO HR 5823, Pandemic Risk Insurance Act (PRIA) 2022 - establish a Pandemic Risk Reinsurance Program HR 5736, Booster Seat Safety Act - direct the Secretary of Transportation to revise regulations relating to child restraint systems HR 5807/S 3065, DATA Privacy Act - establishes information security requirements for businesses that collect, process, store, or disclose information HR 963, Forced Arbitration Injustice Repeal Act - prohibits a pre-dispute arbitration agreement from being valid or enforceable if it requires arbitration of an employment, consumer, antitrust, or civil rights dispute HR 5734, Catastrophic Risk Transfer (CART) Act - to establish a system for the taxation of catastrophic risk transfer companies to ensure sufficient capital to cover catastrophic insurance losses HR 5689, Resilient AMERICA Act - improve the provision of Federal resources to help build capacity and fund risk-reducing, cost-effective mitigation projects HR 4006 Fair Repair Act -- requires an original equipment manufacturer (OEM) to make diagnostic, maintenance, and repair equipment available to independent repair providers HR 6580/S 3572 Algorithmic Accountability Act of 2022 -- direct the Federal Trade Commission to require impact assessments of automated decision systems and augmented critical decision processes HR 6570 REPAIR Act -- ensure consumers have access to data relating to their motor vehicles, critical repair information, and tools, and to provide them choices for the maintenance, service, and repair of their motor vehicles HR 4521 America COMPETES Act -- bill addresses U.S. technology and communications, foreign relations and national security, domestic manufacturing, education, trade, and other matters HR 4777/S 2497 Nondebtor Release Prohibition Act -- addresses the release by bankruptcy courts of creditor or other third-party claims against non-debtors S 3844Economic Continuity and Stability Act -- establish a clear and uniform process, on a nationwide basis, for replacing the London interbank offered rate in existing contracts S 3715E-SIGN Modernization Act -- repeals certain requirements regarding the use of electronic records in commerce S 3755Arbitration Fairness for Consumers Act -- amend the Consumer Financial Protection Act of 2010 with respect to arbitration HR 6027 Online Privacy Act -- establishes certain online privacy rights for personal information (including contents of communications) and certain requirements for data processors, service providers, and third parties S 3875, Community Disaster Resilience Zones Act -- require the President to develop and maintain products that show the risk of natural hazards across the United States DRAFT, Jumpstart our Business Startups Act of 2022 -- help accelerate economic growth and spur new business formation S 4110, Primary Regulators of Insurance Vote Act of 2022 -- establishes a state insurance commissioner as a voting member of the Financial Stability Oversight Council S 4299, Rebuilding Small Businesses After Disasters Act -- to repeal the sunset for collateral requirements for Small Business Administration disaster loans S 4274, National Wildland Fire Risk Reduction Program Act -- improve the Federal effort to reduce wildland fire risks ISSUE, SEC 144A/Rule 15c2-11 No Action Letter ISSUE, ESG, DEI, Climate-Related Financial Risk HR 8152, American Data Privacy and Protection Act - to create a federal privacy standard DRAFT, Data Breach and Security Notification Act of 2021- to establish data breach and security standards. DRAFT, Rep. McHenry/Financial Services Privacy Draft - to amend GLBA HR 8063, RAMP Act - to improve MSP statute by eliminating the private right of action HR 8254 Financial Services and General Government Appropriations Act, 2023 - FY2023 appropriations for several federal departments and agencies HR 7900 National Defense Authorization Act for Fiscal Year 2023 - authorizes Department of Defense (DOD) activities for FY2023 HR 4346 CHIPS and Science Act of 2022 - funds to support the domestic production of semiconductors and authorizes various programs and activities of the federal science agencies. S 4619 Fair Access to Financial Services Act - provide that all persons shall be entitled to the full and equal enjoyment of the goods, services, facilities, privileges, and accommodations of financial institutions HR 8589 To prohibit the Securities and Exchange Commission from finalizing the proposed rule titled "The Enhancement and Standardization of Climate-Related Disclosures for Investors", and for other purposes - prevent finalization of SEC climate-risk disclosure rule HR 2123 D&I DATA Act - requires certain regulated entities to report to the Offices of Women and Minority Inclusion within specified financial agencies ISSUE SEC Rule 144A/15c2-11 HR 8483 Wildfire Insurance Coverage Study Act of 2022 - require studies regarding insurance coverage for damages from wildfires DRAFT Diverse Investment Advisers Act - require companies to consider diverse individual-owned and controlled firms when seeking the services of investment advisers DRAFT Minority and Women Inclusion in Insurance Act - require FIO to conduct an annual survey of insurers to determine the extent of diversity in the insurance industry DRAFT Diversify Insurers Workforce Study Act - require FIO to conduct a study regarding recruitment, retention, and attrition of employees in the insurance industry

Client expense: $900,000 · Firm income: Not reported

Government targets: Federal Deposit Insurance Corporation (FDIC), Federal Emergency Management Agency (FEMA), Federal Reserve System, HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of, U.S. Postal Service (USPS)

H.R. 4521, America Competes Act of 2022, all provisions; S. 1260, United States Innovation an Competition Act, all provisions; H.R. 1996/ S.910, Safe Banking Act of 2021, all provisions; H.R. 1187, ESG Disclosure Simplification Act, all provisions; H.R. 2123, Diversity and Inclusion Data Accountability and Transparency Act, all provisions; H.R. 1277, Improving Corporate Governance Through Diversity Act, all provisions; H.R. 4277, Overdraft Protections Act, all provisions; SBA program education; CRA modernization general education; cyber security general education.

Client expense: $70,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Small Business Administration (SBA)

H.R. 4521, America Competes Act of 2022, all provisions; S. 1260, United States Innovation an Competition Act, all provisions; H.R. 1996/ S.910, Safe Banking Act of 2021, all provisions; H.R. 1187, ESG Disclosure Simplification Act, all provisions; H.R. 2123, Diversity and Inclusion Data Accountability and Transparency Act, all provisions; H.R. 1277, Improving Corporate Governance Through Diversity Act, all provisions; H.R. 4277, Overdraft Protections Act, all provisions; SBA program education; CRA modernization general education; cyber security general education.

Client expense: $70,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Small Business Administration (SBA)

H.R. 699- Mutual Fund Litigation Reform Act (Emmer) H.R. 1277- Improving Corporate Governance Through Diversity Act of 2021 (Meeks) H.R. 2123- Diversity and Inclusion Data Accountability and Transparency Act (Beatty) H.R. 2265- Financial Exploitation Prevention Act (Wagner) H.R. 3412- Alleviating Stress Test Burdens to Help Investors Act (Loudermilk) H.R. 3899- Financial Stability Oversight Council Improvement Act (Foster) H.R. 4262- Increasing Investor Opportunities Act (Gonzalez) H.R. 7066- Russia and Belarus Financial Sanctions Act (Sherman) H.R. 7151- Ensuring Sound Guidance Act (Barr) S. 374- Improving Corporate Governance Through Diversity Act of 2021 (Menendez) S. 2684- Consumer Financial Choice and Capital Markets Protection Act of 2021 (Toomey) S. 3919- Reporting Requirements Reduction Act of 2022 (Tillis) S. 3945- Restoring Shareholder Transparency Act of 2022 (Haggerty) S. 3948- Increasing Investor Opportunities Act (Daines) S. 3961- Access to Small Business Investor Capital Act (Daines) S. 3965- Increasing Access to Adviser Information Act (Moran) S. 4241- INvestor Democracy is EXpected (INDEX) Act (Sullivan) Diverse Investment Advisers Act (draft) Diversity and Inclusion in the Asset Management Industry Improving Disclosure for Investors Act (draft) Length of comment period for SEC proposals Processing fees for delivering investment materials Russia Sanctions/Executive Orders SEC data security/Consolidated Audit Trail breach notification SEC money market fund proposal SEC proposed amendments to the Fund Names Rule SEC proposed Investment Adviser and Fund Disclosures about ESG Investment Practices SEC public company climate disclosure proposal

Client expense: $1,010,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Monitor H.R.2001, Diversity Data Accountability Act and H.R.2123, Diversity and Inclusion Data Accountability and Transparency Act; monitor draft legislation to require diversity and inclusion data from regulated entities.

Client expense: Not reported · Firm income: $90,000

Government targets: HOUSE OF REPRESENTATIVES

H.R. 2123, Diversity and Inclusion Data Accountability and Transparency Act SECURE Act 2.0 retirement savings legislation

Client expense: $60,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)

(1) H.R. 1277, S. 374, Improving Corporate Governance Through Diversity Act of 2021, To amend the Securities Exchange Act of 1934 to require the submission by issuers of data relating to diversity, and for other purposes. Referred to House Financial Services, Feb. 24, 2021 (2) H.R. 1187, ESG Disclosure Simplification Act of 2021. To provide for disclosure of additional material information about public companies and establish a Sustainable Finance Advisory Committee, and for other purposes. Introduced in the House, Feb. 18, 2021 Referred to House Financial Services. (3) H.R. 1087, S 530, Shareholder Political Transparency Act of 2021. To amend the Securities Exchange Act of 1934 to require reporting of certain expenditures for political activities, and for other purposes. (4) H.R. 2123, Diversity Data Accountability Act. To amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to require regulated entities to provide information necessary for the Offices of Women and Minority Inclusion to carry out their duties, and for other purposes. (5) H.R. 1549, S. 588, To establish the Advisory Committee on Climate Risk on the Financial Stability Oversight Council (6) H.R. ___, Diverse Investment Advisers Act. To require companies registered with the Securities and Exchange Commission, and companies registering securities with the Commission, to consider diverse individual-owned and controlled firms when seeking the services of investment advisers, and for other purposes. (7) H.R. ___, Diversity in Financial Regulatory Advisory Committees Act. To require Federal financial agencies to consider at least one gender-diverse candidate and one racially- or ethnically-diverse candidate when appointing members of advisory committees, and for other purposes. (8) H.R. ___, Promoting Diversity and Inclusion in Banking Act. To amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to require Federal banking regulators to include a diversity and inclusion component in the Uniform Financial Institutions Rating System, and for other purposes. (9) H.R. ___, Disclosure of Tax Havens and Offshoring Act. To require companies registered with the Securities and Exchange Commission, and companies registering securities with the Commission, to consider diverse individual-owned and controlled firms when seeking the services of investment advisers, and for other purposes. (10) H.R. ___, Climate Risk Disclosure Act. To amend the Securities Exchange Act of 1934 to require certain disclosures relating to climate change, and for other purposes. (11) H.R. ___, Greater Accountability in Pay Act. To amend the Securities Exchange Act of 1934 to require issuers to disclose information on pay raises made to executives and non-executive employees, and for other purposes. (12) H.R ___, Paris Climate Agreement Disclosure Act. To amend the Securities Exchange Act of 1934 to require disclosures related to the Paris Climate Agreement, and for other purposes. (13) S. 606, A bill to require the Board of Governors of the Federal Reserve System and the Securities and Exchange Commission to issue an annual report to Congress projecting and accounting for the economic costs directly and indirectly caused by the impacts of climate change, to require the Federal Retirement Thrift Investment Board to establish a Federal Advisory Panel on the Economics of Climate Change, and for other purposes. Referred to the Committee on Homeland Security and Governmental Affairs, Mar. 4,2021 (14) H.R. 4262, the Increasing Investor Opportunities Act. The bill increases protections for closed-end funds (CEF) and provides retail investors access to private offerings with protections of the Investment Company Act of 1940. (15) H.R. 3899, FSOC nonbank SIFI designation (16) S.4241 INDEX Act, a bill that would require money managers to provide proxy voting options for share owners to vote at stockholder meetings.

Client expense: Not reported · Firm income: $10,000

H.R.4589 - Diversity and Inclusion at the Department of State Act and other policies that influence DEI within federal agencies. H.R. 2543, passed by the U.S. House of Representatives passed Financial Services Racial Equity, Inclusion and Economic Justice Act, a package of thirteen bills focused on promoting racial and economic justice throughout the financial services sector. The package included two bills authored by U.S. CONGRESSWOMAN AND CONGRESSIONAL BLACK CAUCUS CHAIR JOYCE BEATTY (OH-03): H.R. 2123, the Diversity and Inclusion Data Accountability and Transparency Act, and H.R.7953, the Expanding Opportunity for MDIs Act. An additional Beatty bill, the Ensuring Diverse Leadership Act, was adopted as an amendment to the bill before its passage.

Client expense: $70,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

(1) H.R. 1277, S. 374, Improving Corporate Governance Through Diversity Act of 2021, To amend the Securities Exchange Act of 1934 to require the submission by issuers of data relating to diversity, and for other purposes. Referred to House Financial Services, Feb. 24, 2021 (2) H.R. 1187, ESG Disclosure Simplification Act of 2021. To provide for disclosure of additional material information about public companies and establish a Sustainable Finance Advisory Committee, and for other purposes. Introduced in the House, Feb. 18, 2021 Referred to House Financial Services. (3) H.R. 1087, S 530, Shareholder Political Transparency Act of 2021. To amend the Securities Exchange Act of 1934 to require reporting of certain expenditures for political activities, and for other purposes. (4) H.R. 2123, Diversity Data Accountability Act. To amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to require regulated entities to provide information necessary for the Offices of Women and Minority Inclusion to carry out their duties, and for other purposes. (5) H.R. 1549, S. 588, To establish the Advisory Committee on Climate Risk on the Financial Stability Oversight Council (6) H.R. ___, Diverse Investment Advisers Act. To require companies registered with the Securities and Exchange Commission, and companies registering securities with the Commission, to consider diverse individual-owned and controlled firms when seeking the services of investment advisers, and for other purposes. (7) H.R. ___, Diversity in Financial Regulatory Advisory Committees Act. To require Federal financial agencies to consider at least one genderdiverse candidate and one racially- or ethnically-diverse candidate when appointing members of advisory committees, and for other purposes. (8) H.R. ___, Promoting Diversity and Inclusion in Banking Act. To amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to require Federal banking regulators to include a diversity and inclusion component in the Uniform Financial Institutions Rating System, and for other purposes. (9) H.R. ___, Disclosure of Tax Havens and Offshoring Act. To require companies registered with the Securities and Exchange Commission, and companies registering securities with the Commission, to consider diverse individual-owned and controlled firms when seeking the services of investment advisers, and for other purposes. (10) H.R. ___, Climate Risk Disclosure Act. To amend the Securities Exchange Act of 1934 to require certain disclosures relating to climate change, and for other purposes. (11) H.R. ___, Greater Accountability in Pay Act. To amend the Securities Exchange Act of 1934 to require issuers to disclose information on pay raises made to executives and non-executive employees, and for other purposes. (12) H.R ___, Paris Climate Agreement Disclosure Act. To amend the Securities Exchange Act of 1934 to require disclosures related to the Paris Climate Agreement, and for other purposes. (13) S. 606, A bill to require the Board of Governors of the Federal Reserve System and the Securities and Exchange Commission to issue an annual report to Congress projecting and accounting for the economic costs directly and indirectly caused by the impacts of climate change, to require the Federal Retirement Thrift Investment Board to establish a Federal Advisory Panel on the Economics of Climate Change, and for other purposes. Referred to the Committee on Homeland Security and Governmental Affairs, Mar. 4,2021 (14) H.R. 4262, the Increasing Investor Opportunities Act. The bill increases protections for closed-end funds (CEF) and provides retail investors access to private offerings with protections of the Investment Company Act of 1940. (15) H.R. 3899, FSOC nonbank SIFI designation (16) S.4241 INDEX Act, a bill that would require money managers to provide proxy voting options for share owners to vote at stockholder meetings.

Client expense: Not reported · Firm income: $30,000

H.R. 4521, America Competes Act of 2022, all provisions; S. 1260, United States Innovation an Competition Act, all provisions; H.R. 4616, LIBOR, all provisions; S. 2902, Federal Information Modernization Security Act, all provisions, S. 2875, Cyber Incident Reporting Act, all provisions; H.R. 1996/ S.910, Safe Banking Act of 2021, all provisions; H.R. 1187, ESG Disclosure Simplification Act, all provisions; H.R. 2123, Diversity and Inclusion Data Accountability and Transparency Act, all provisions; H.R. 1277, Improving Corporate Governance Through Diversity Act, all provisions; SBA program education, general banking fee and customer service education.

Client expense: $80,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 4521, America Competes Act of 2022, all provisions; S. 1260, United States Innovation an Competition Act, all provisions; H.R. 4616, LIBOR, all provisions; S. 2902, Federal Information Modernization Security Act, all provisions, S. 2875, Cyber Incident Reporting Act, all provisions; H.R. 1996/ S.910, Safe Banking Act of 2021, all provisions; H.R. 1187, ESG Disclosure Simplification Act, all provisions; H.R. 2123, Diversity and Inclusion Data Accountability and Transparency Act, all provisions; H.R. 1277, Improving Corporate Governance Through Diversity Act, all provisions; SBA program education, general banking fee and customer service education.

Client expense: $80,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 2123, Diversity and Inclusion Data Accountability and Transparency Act SECURE Act 2.0 retirement savings legislation

Client expense: $60,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC)

H.R. 699- Mutual Fund Litigation Reform Act (Emmer) H.R. 1277- Improving Corporate Governance Through Diversity Act of 2021 (Meeks) H.R. 2123- Diversity and Inclusion Data Accountability and Transparency Act (Beatty) H.R. 2265- Financial Exploitation Prevention Act (Wagner) H.R. 3412- Alleviating Stress Test Burdens to Help Investors Act (Loudermilk) H.R. 3899- Financial Stability Oversight Council Improvement Act (Foster) H.R. 4262- Increasing Investor Opportunities Act (Gonzalez) H.R. 4616- Adjustable Interest Rate (LIBOR) Act of 2021 (Sherman) H.R. 4618- Short Sale Transparency and Market Fairness Act (Waters) H.R. 6285- Accelerating Holding Foreign Companies Accountable Act (Sherman) H.R. 7066- Russia and Belarus Financial Sanctions Act (Sherman) H.R. 7151- Ensuring Sound Guidance Act (Barr) S. 374- Improving Corporate Governance Through Diversity Act of 2021 (Menendez) S. 2184- Accelerating Holding Foreign Companies Accountable Act (Kennedy) S. 2684- Consumer Financial Choice and Capital Markets Protection Act of 2021 (Toomey) S. 3779- Adjustable Interest Rate (LIBOR) Act (Tester) S. 3948- Increasing Investor Opportunities Act (Daines) Improving Disclosure for Investors Act (draft) Processing fees for delivering investment materials Consolidated Audit Trail data security/breach notification Diverse Investment Advisers Act (draft) Diversity and Inclusion in the Asset Management Industry ESG Reporting Standards Proxy Voting by Asset Managers Russia Sanctions/Executive Orders SEC public company climate disclosure proposal SEC money market fund proposal Shorten US securities settlement cycle to trade date plus one day

Client expense: $950,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

Monitor H.R.2001, Diversity Data Accountability Act and H.R.2123, Diversity and Inclusion Data Accountability and Transparency Act; monitor draft legislation to require diversity and inclusion data from regulated entities.

Client expense: Not reported · Firm income: $90,000

Government targets: HOUSE OF REPRESENTATIVES

(1) H.R. 1277, S. 374, Improving Corporate Governance Through Diversity Act of 2021, To amend the Securities Exchange Act of 1934 to require the submission by issuers of data relating to diversity, and for other purposes. Referred to House Financial Services, Feb. 24, 2021 (2) H.R. 1187, ESG Disclosure Simplification Act of 2021. To provide for disclosure of additional material information about public companies and establish a Sustainable Finance Advisory Committee, and for other purposes. Introduced in the House, Feb. 18, 2021 Referred to House Financial Services. (3) H.R. 1087, S 530, Shareholder Political Transparency Act of 2021. To amend the Securities Exchange Act of 1934 to require reporting of certain expenditures for political activities, and for other purposes. (4) H.R. 2123, Diversity Data Accountability Act. To amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to require regulated entities to provide information necessary for the Offices of Women and Minority Inclusion to carry out their duties, and for other purposes. (5) H.R. 1549, S. 588, To establish the Advisory Committee on Climate Risk on the Financial Stability Oversight Council (6) H.R. ___, Diverse Investment Advisers Act. To require companies registered with the Securities and Exchange Commission, and companies registering securities with the Commission, to consider diverse individual-owned and controlled firms when seeking the services of investment advisers, and for other purposes. (7) H.R. ___, Diversity in Financial Regulatory Advisory Committees Act. To require Federal financial agencies to consider at least one gender-diverse candidate and one racially- or ethnically-diverse candidate when appointing members of advisory committees, and for other purposes. (8) H.R. ___, Promoting Diversity and Inclusion in Banking Act. To amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to require Federal banking regulators to include a diversity and inclusion component in the Uniform Financial Institutions Rating System, and for other purposes. (9) H.R. ___, Disclosure of Tax Havens and Offshoring Act. To require companies registered with the Securities and Exchange Commission, and companies registering securities with the Commission, to consider diverse individual-owned and controlled firms when seeking the services of investment advisers, and for other purposes. (10) H.R. ___, Climate Risk Disclosure Act. To amend the Securities Exchange Act of 1934 to require certain disclosures relating to climate change, and for other purposes. (11) H.R. ___, Greater Accountability in Pay Act. To amend the Securities Exchange Act of 1934 to require issuers to disclose information on pay raises made to executives and non-executive employees, and for other purposes. (12) H.R ___, Paris Climate Agreement Disclosure Act. To amend the Securities Exchange Act of 1934 to require disclosures related to the Paris Climate Agreement, and for other purposes. (13) S. 606, A bill to require the Board of Governors of the Federal Reserve System and the Securities and Exchange Commission to issue an annual report to Congress projecting and accounting for the economic costs directly and indirectly caused by the impacts of climate change, to require the Federal Retirement Thrift Investment Board to establish a Federal Advisory Panel on the Economics of Climate Change, and for other purposes. Referred to the Committee on Homeland Security and Governmental Affairs, Mar. 4,2021 (14) H.R. 4262, the Increasing Investor Opportunities Act. The bill increases protections for closed-end funds (CEF) and provides retail investors access to private offerings with protections of the Investment Company Act of 1940. (15) H.R. 3899, FSOC nonbank SIFI designation

Client expense: Not reported · Firm income: $10,000

1) H.R. 1277, S. 374, Improving Corporate Governance Through Diversity Act of 2021, To amend the Securities Exchange Act of 1934 to require the submission by issuers of data relating to diversity, and for other purposes. Referred to House Financial Services, Feb. 24, 2021 (2) H.R. 1187, ESG Disclosure Simplification Act of 2021. To provide for disclosure of additional material information about public companies and establish a Sustainable Finance Advisory Committee, and for other purposes. Introduced in the House, Feb. 18, 2021 Referred to House Financial Services. (3) H.R. 1087, S 530, Shareholder Political Transparency Act of 2021. To amend the Securities Exchange Act of 1934 to require reporting of certain expenditures for political activities, and for other purposes. (4) H.R. 2123, Diversity Data Accountability Act. To amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to require regulated entities to provide information necessary for the Offices of Women and Minority Inclusion to carry out their duties, and for other purposes. (5) H.R. 1549, S. 588, To establish the Advisory Committee on Climate Risk on the Financial Stability Oversight Council (6) H.R. ___, Diverse Investment Advisers Act. To require companies registered with the Securities and Exchange Commission, and companies registering securities with the Commission, to consider diverse individual-owned and controlled firms when seeking the services of investment advisers, and for other purposes. (7) H.R. ___, Diversity in Financial Regulatory Advisory Committees Act. To require Federal financial agencies to consider at least one gender diverse candidate and one racially- or ethnically-diverse candidate when appointing members of advisory committees, and for other purposes. (8) H.R. ___, Promoting Diversity and Inclusion in Banking Act. To amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to require Federal banking regulators to include a diversity and inclusion component in the Uniform Financial Institutions Rating System, and for other purposes. (9) H.R. ___, Disclosure of Tax Havens and Offshoring Act. To require companies registered with the Securities and Exchange Commission, and companies registering securities with the Commission, to consider diverse individual-owned and controlled firms when seeking the services of investment advisers, and for other purposes. (10) H.R. ___, Climate Risk Disclosure Act. To amend the Securities Exchange Act of 1934 to require certain disclosures relating to climate change, and for other purposes. (11) H.R. ___, Greater Accountability in Pay Act. To amend the Securities Exchange Act of 1934 to require issuers to disclose information on pay raises made to executives and non-executive employees, and for other purposes. (12) H.R ___, Paris Climate Agreement Disclosure Act. To amend the Securities Exchange Act of 1934 to require disclosures related to the Paris Climate Agreement, and for other purposes. (13) S. 606, A bill to require the Board of Governors of the Federal Reserve System and the Securities and Exchange Commission to issue an annual report to Congress projecting and accounting for the economic costs directly and indirectly caused by the impacts of climate change, to require the Federal Retirement Thrift Investment Board to establish a Federal Advisory Panel on the Economics of Climate Change, and for other purposes. Referred to the Committee on Homeland Security and Governmental Affairs, Mar. 4,2021 (14) H.R. 4262, the Increasing Investor Opportunities Act. The bill increases protections for closed-end funds (CEF) and provides retail investors access to private offerings with protections of the Investment Company Act of 1940. (15) H.R. 3899, FSOC nonbank SIFI designation

Client expense: Not reported · Firm income: $30,000

H.R. 699- Mutual Fund Litigation Reform Act (Emmer) H.R. 1277- Improving Corporate Governance Through Diversity Act of 2021 (Meeks) H.R. 1996- Secure and Fair Enforcement Banking Act of 2021 (Perlmutter) H.R. 2123- Diversity and Inclusion Data Accountability and Transparency Act (Beatty) H.R. 2265- Financial Exploitation Prevention Act (Wagner) H.R. 3412- Alleviating Stress Test Burdens to Help Investors Act (Loudermilk) H.R. 3899- Financial Stability Oversight Council Improvement Act (Foster) H.R. 4262- Increasing Investor Opportunities Act (Gonzalez) H.R. 4616- Adjustable Interest Rate (LIBOR) Act of 2021 (Sherman) H.R. 4618- Short Sale Transparency and Market Fairness Act (Waters) H.R. 5598- Access to Small Business Investor Capital Act (Sherman) H.R. 6285- Accelerating Holding Foreign Companies Accountable Act (Sherman) S. 374- Improving Corporate Governance Through Diversity Act of 2021 (Menendez) S. 910- Secure and Fair Enforcement Banking Act of 2021 (Merkley) S. 1605- National Defense Authorization Act for Fiscal Year 2022 S. 2184- Accelerating Holding Foreign Companies Accountable Act (Kennedy) S. 2684- Consumer Financial Choice and Capital Markets Protection Act of 2021 (Toomey) Improving Disclosure for Investors Act Processing fees for delivering investment materials Adjustable Interest Rate (LIBOR) Act (Senate draft) Consolidated Audit Trail SEC Cybersecurity and Data Protection Diverse Investment Advisers Act (House draft) Diversity and Inclusion in the Asset Management Industry Enhanced ESG Disclosure SEC's proposed money market fund reforms Shorten US securities settlement cycle to trade date plus one day Stablecoins

Client expense: $840,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 4616, LIBOR, all proisions;S. 2902, Federal Information Modernization Security Act, all provisions, S. 2875, Cyber Incident Reporting Act, all provisions; H.R. 1996/ S.910, Safe Banking Act of 2021, all provisions; H.R. 1187, ESG Disclosure Simplification Act, all provisions; H.R. 2123, Diversity and Inclusion Data Accountability and Transparency Act, all provisions; H.R. 1277, Improving Corporate Governance Through Diversity Act, all provisions; Build Back Better proposals on bank reporting to IRS on customer account movement and changes to SBA program; climate risk and climate change, general education; ESG disclosures, general education.

Client expense: $60,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 4616, LIBOR, all proisions;S. 2902, Federal Information Modernization Security Act, all provisions, S. 2875, Cyber Incident Reporting Act, all provisions; H.R. 1996/ S.910, Safe Banking Act of 2021, all provisions; H.R. 1187, ESG Disclosure Simplification Act, all provisions; H.R. 2123, Diversity and Inclusion Data Accountability and Transparency Act, all provisions; H.R. 1277, Improving Corporate Governance Through Diversity Act, all provisions; Build Back Better proposals on bank reporting to IRS on customer account movement and changes to SBA program; climate risk and climate change, general education; ESG disclosures, general education.

Client expense: $60,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE

H.R. 2123, Diversity and Inclusion Data Accountability and Transparency Act Build Back Better Act Secure Act 2.0

Client expense: $65,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

H.R. 699- Mutual Fund Litigation Reform Act (Emmer) H.R. 1277- Improving Corporate Governance Through Diversity Act of 2021 (Meeks) H.R. 1996- Secure and Fair Enforcement Banking Act of 2021 (Perlmutter) H.R. 2123- Diversity and Inclusion Data Accountability and Transparency Act (Beatty) H.R. 2265- Financial Exploitation Prevention Act (Wagner) H.R. 3412- Alleviating Stress Test Burdens to Help Investors Act (Loudermilk) H.R. 3899- Financial Stability Oversight Council Improvement Act (Foster) H.R. 4262- Increasing Investor Opportunities Act (Gonzalez) H.R. 4616- Adjustable Interest Rate (LIBOR) Act of 2021 (Sherman) H.R. 4618- Short Sale Transparency and Market Fairness Act (Waters) H.R. 5598- Access to Small Business Investor Capital Act (Sherman) H.R. 6285- Accelerating Holding Foreign Companies Accountable Act (Sherman) S. 374- Improving Corporate Governance Through Diversity Act of 2021 (Menendez) S. 910- Secure and Fair Enforcement Banking Act of 2021 (Merkley) S. 1605- National Defense Authorization Act for Fiscal Year 2022 S. 2184- Accelerating Holding Foreign Companies Accountable Act (Kennedy) S. 2684- Consumer Financial Choice and Capital Markets Protection Act of 2021 (Toomey) Improving Disclosure for Investors Act Processing fees for delivering investment materials Adjustable Interest Rate (LIBOR) Act (Senate draft) Consolidated Audit Trail SEC Cybersecurity and Data Protection Diverse Investment Advisers Act (House draft) Diversity and Inclusion in the Asset Management Industry Enhanced ESG Disclosure SEC's proposed money market fund reforms Shorten US securities settlement cycle to trade date plus one day Stablecoins

Client expense: $840,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE

Monitor H.R.2001, Diversity Data Accountability Act and H.R.2123, Diversity and Inclusion Data Accountability and Transparency Act; monitor draft legislation to require diversity and inclusion data from regulated entities.

Client expense: Not reported · Firm income: $90,000

Government targets: Executive Office of the President (EOP), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE

1) H.R. 1277, S. 374, Improving Corporate Governance Through Diversity Act of 2021, To amend the Securities Exchange Act of 1934 to require the submission by issuers of data relating to diversity, and for other purposes. Referred to House Financial Services, Feb. 24, 2021 (2) H.R. 1187, ESG Disclosure Simplification Act of 2021. To provide for disclosure of additional material information about public companies and establish a Sustainable Finance Advisory Committee, and for other purposes. Introduced in the House, Feb. 18, 2021 Referred to House Financial Services. (3) H.R. 1087, S 530, Shareholder Political Transparency Act of 2021. To amend the Securities Exchange Act of 1934 to require reporting of certain expenditures for political activities, and for other purposes. (4) H.R. 2123, Diversity Data Accountability Act. To amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to require regulated entities to provide information necessary for the Offices of Women and Minority Inclusion to carry out their duties, and for other purposes. (5) H.R. 1549, S. 588, To establish the Advisory Committee on Climate Risk on the Financial Stability Oversight Council (6) H.R. ___, Diverse Investment Advisers Act. To require companies registered with the Securities and Exchange Commission, and companies registering securities with the Commission, to consider diverse individual-owned and controlled firms when seeking the services of investment advisers, and for other purposes. (7) H.R. ___, Diversity in Financial Regulatory Advisory Committees Act. To require Federal financial agencies to consider at least one gender diverse candidate and one racially- or ethnically-diverse candidate when appointing members of advisory committees, and for other purposes. (8) H.R. ___, Promoting Diversity and Inclusion in Banking Act. To amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to require Federal banking regulators to include a diversity and inclusion component in the Uniform Financial Institutions Rating System, and for other purposes. (9) H.R. ___, Disclosure of Tax Havens and Offshoring Act. To require companies registered with the Securities and Exchange Commission, and companies registering securities with the Commission, to consider diverse individual-owned and controlled firms when seeking the services of investment advisers, and for other purposes. (10) H.R. ___, Climate Risk Disclosure Act. To amend the Securities Exchange Act of 1934 to require certain disclosures relating to climate change, and for other purposes. (11) H.R. ___, Greater Accountability in Pay Act. To amend the Securities Exchange Act of 1934 to require issuers to disclose information on pay raises made to executives and non-executive employees, and for other purposes. (12) H.R ___, Paris Climate Agreement Disclosure Act. To amend the Securities Exchange Act of 1934 to require disclosures related to the Paris Climate Agreement, and for other purposes. (13) S. 606, A bill to require the Board of Governors of the Federal Reserve System and the Securities and Exchange Commission to issue an annual report to Congress projecting and accounting for the economic costs directly and indirectly caused by the impacts of climate change, to require the Federal Retirement Thrift Investment Board to establish a Federal Advisory Panel on the Economics of Climate Change, and for other purposes. Referred to the Committee on Homeland Security and Governmental Affairs, Mar. 4,2021 (14) H.R. 4262, the Increasing Investor Opportunities Act. The bill increases protections for closed-end funds (CEF) and provides retail investors access to private offerings with protections of the Investment Company Act of 1940. (15) H.R. 3899, FSOC nonbank SIFI designation

Client expense: Not reported · Firm income: $30,000

(1) H.R. 1277, S. 374, Improving Corporate Governance Through Diversity Act of 2021, To amend the Securities Exchange Act of 1934 to require the submission by issuers of data relating to diversity, and for other purposes. Referred to House Financial Services, Feb. 24, 2021 (2) H.R. 1187, ESG Disclosure Simplification Act of 2021. To provide for disclosure of additional material information about public companies and establish a Sustainable Finance Advisory Committee, and for other purposes. Introduced in the House, Feb. 18, 2021 Referred to House Financial Services. (3) H.R. 1087, S 530, Shareholder Political Transparency Act of 2021. To amend the Securities Exchange Act of 1934 to require reporting of certain expenditures for political activities, and for other purposes. (4) H.R. 2123, Diversity Data Accountability Act. To amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to require regulated entities to provide information necessary for the Offices of Women and Minority Inclusion to carry out their duties, and for other purposes. (5) H.R. 1549, S. 588, To establish the Advisory Committee on Climate Risk on the Financial Stability Oversight Council (6) H.R. ___, Diverse Investment Advisers Act. To require companies registered with the Securities and Exchange Commission, and companies registering securities with the Commission, to consider diverse individual-owned and controlled firms when seeking the services of investment advisers, and for other purposes. (7) H.R. ___, Diversity in Financial Regulatory Advisory Committees Act. To require Federal financial agencies to consider at least one gender-diverse candidate and one racially- or ethnically-diverse candidate when appointing members of advisory committees, and for other purposes. (8) H.R. ___, Promoting Diversity and Inclusion in Banking Act. To amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to require Federal banking regulators to include a diversity and inclusion component in the Uniform Financial Institutions Rating System, and for other purposes. (9) H.R. ___, Disclosure of Tax Havens and Offshoring Act. To require companies registered with the Securities and Exchange Commission, and companies registering securities with the Commission, to consider diverse individual-owned and controlled firms when seeking the services of investment advisers, and for other purposes. (10) H.R. ___, Climate Risk Disclosure Act. To amend the Securities Exchange Act of 1934 to require certain disclosures relating to climate change, and for other purposes. (11) H.R. ___, Greater Accountability in Pay Act. To amend the Securities Exchange Act of 1934 to require issuers to disclose information on pay raises made to executives and non-executive employees, and for other purposes. (12) H.R ___, Paris Climate Agreement Disclosure Act. To amend the Securities Exchange Act of 1934 to require disclosures related to the Paris Climate Agreement, and for other purposes. (13) S. 606, A bill to require the Board of Governors of the Federal Reserve System and the Securities and Exchange Commission to issue an annual report to Congress projecting and accounting for the economic costs directly and indirectly caused by the impacts of climate change, to require the Federal Retirement Thrift Investment Board to establish a Federal Advisory Panel on the Economics of Climate Change, and for other purposes. Referred to the Committee on Homeland Security and Governmental Affairs, Mar. 4,2021 (14) H.R. 4262, the Increasing Investor Opportunities Act. The bill increases protections for closed-end funds (CEF) and provides retail investors access to private offerings with protections of the Investment Company Act of 1940. (15) H.R. 3899, FSOC nonbank SIFI designation

Client expense: Not reported · Firm income: $10,000

Legislation and rulemaking affecting annuities, variable life products and retirement savings including Biden Administration and Congressional proposals on tax reform. EOP - Executive Order on Climate-Related Financial Risk. EOP - Amending Executive Order 13959 - Addressing the Threat from Securities Investments That Finance Communist Chinese Military Companies (E.O. 13974 of Jan 13, 2021 - 86 FR 4875). EOP - Executive Order 13990 - Protecting Public Health and the Environment and Restoring Science to Tackle the Climate Crisis (Federal Register/Vol. 86, No. 14 - Monday, January 25, 2021). FINRA - Comment on Lessons From the COVID-19 Pandemic (Regulatory Notice 20-42). DOL - EBSA - Cybersecurity Guidance for Plan Sponsors, Fiduciaries, Record Keepers and Participants. DOL - EBSA - PTE 2020-02 - Improving Investment Advice for Workers & Retirees. DOL - EBSA - Financial Factors in Selecting Plan Investments - ZRIN 1210-AB95. DOL - EBSA - Improving Investment Advice for Workers and Retirees - ZRIN 1210-ZA29. DOL - EBSA - Pension Benefit Statements-Lifetime Income Illustrations - RIN 1210-AB20. DOL - EBSA - Fiduciary Duties Regarding Proxy Voting and Shareholder Rights - RIN 1210-AB91. DOL - EBSA - Amendment to and Partial Revocation of Prohibited Transaction Exemption (PTE) 84-24 for Certain Transactions Involving Insurance Agents and Brokers, Pension Consultants, Insurance Companies, and Investment Company Principal Underwriters. DOL - EBSA - Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights (RIN - 1210-AC03/ 29 CFR 2550). DOL - EBSA - Definition of the Term Fiduciary - RIN 1210-AC02. SEC - Reporting Threshold for Institutional Investment Managers - RIN 3235-AM65. SEC - Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology to Develop and Provide Investment Advice - RIN 3235-AN00 (Release Nos. 34-92766; IA-5833; File No. S7-10-21). SEC - FINRA - Proposed Rule Change to Amend FINRA Rule 2231 (Customer Account Statements) - SR-FINRA-2021-024. SEC - FINRA - Proposed Rule Change to Extend the Effectiveness of Temporary FINRA Rule 3110.17 - SR-FINRA-2021-023. SEC - Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants - (RIN 3235-AM76 - Release No. 34-93614; File No. S7-19-2 - 17 CFR Part 240). Treasury - IRS Proposed Rulemaking: Updated Life Expectancy and Distribution Period Tables Used for Purposes of Determining Minimum Required Distributions (26 CFR Part 1 [REG-132210-18] RIN 1545-BP11). Proposals at the Department of Treasury for increasing Americans' access to guaranteed lifetime income solutions. Proposals at the Department of Labor for increasing Americans' access to guaranteed lifetime income solutions. Department of Labor rule to expand the scope of persons and entities that would be considered a fiduciary under the Employee Retirement Income Security Act. The Consumer Data Privacy Act - (Sen. Wyden (D-OR) - Discussion Draft). The CECL Consumer Impact and Study Bill of 2019 (H.R. 3182 - 116th Congress). The Corporate Management Accountability Act of 2019 (S.1885/H.R. 4320 - 116th Congress). The Cybersecurity and Financial System Resilience Act of 2019 (H.R. 4458 - 116th Congress). Senior Investor Pandemic and Fraud Protection Act - House Financial Services National Security, International Development and Monetary Policy Subcommittee (Discussion Draft). House Energy and Commerce Committee - Privacy Bill (Discussion Draft). The American Families Plan. The Bipartisan Infrastructure Framework. The Diversity and Inclusion Data Accountability and Transparency Act. (H.R. 2123 - 117th Congress). The Diversity Data Accountability Act (H.R.2001 - 117th Congress). The ESG Disclosure Simplification Act. (H.R. 1187 - 117th Congress). The Financial Exploitation Prevention Act (H.R. 2265 - 117th Congress). The Financial Factors in Selecting Retirement Plan Investment Act (S.1762/H.R. 3387-117th Congress). The Financial Services and General Government Appropriations Act, 2022 (H.R. 4345 - 117th Congress). The Improving Corporate Governance Through Diversity Act. (H.R. 1277 - 117th Congress). The INVEST in America Act (H.R. 3684 - 117th Congress). The Primary Regulators of Insurance Vote Act (H.R.3099 - 117th Congress). The Promoting Diversity and Inclusion in Banking Act. (H.R. 2516 - 117th Congress). The Protecting the Right to Organize (PRO) Act (S.420/H.R. 842-117th Congress). The Secure and Fair Enforcement (SAFE) Banking Act (S.910/H.R. 1996-117th Congress). The Securing and Enabling Commerce Using Remote and Electronic Notarization Act (S.1625/H.R. 3962 - 117th Congress). The Senior Security Act (S.856/H.R. 1565 - 117th Congress). The Shareholder Political Transparency Act. (H.R. 1087 - 117th Congress). The E-SIGN Modernization Act. (S.4159 - 116th Congress). The SAFE Banking Act (S.910/H.R. 1996 - 117th Congress). National Defense Authorization Act for Fiscal Year 2022 (S.2792/H.R. 4350 - 117th Congress). Elder Justice Reauthorization and Modernization Act of 2021 (S.2674/H.R. 4969 - 117th Congress). The Empowering States to Protect Seniors from Bad Actors Act (H.R. 5914 - 117th Congress). The Registration for Index-Linked Annuities (RILA) Act (S.3198/H.R. 4865 - 117th Congress). The Financial Fitness Act (H.R. 5779 - 117th Congress). DOL implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). Treasury/IRS implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). SEC implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). SEC - Implementation and Enforcement of Regulation BI and Form CRS.

Client expense: $180,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

H.R. 3684, Infrastructure Investment and Jobs Act, general support; S. 2902, Federal Information Modernization Security Act, all provisions, S. 2875, Cyber Incident Reporting Act, all provisions; H.R. 1996, Safe Banking Act of 2021, all provisions; H.R. 1187, ESG Disclosure Simplification Act, all provisions; H.R. 2123, Diversity and Inclusion Data Accountability and Transparency Act, all provisions; H.R. 1277, Improving Corporate Governance Through Diversity Act, all provisions; U.S. Debt Ceiling market impacts education; Budget Reconciliation proposals on bank reporting to IRS on customer account movement and changes to SBA program; Paycheck Protection Program customer impact issues and forgiveness recommendations; interchange and payment system issues general education; DEI issues general impact education; climate risk and climate change, general education; ESG disclosures, general education.

Client expense: $100,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Small Business Administration (SBA)

H.R. 3684, Infrastructure Investment and Jobs Act, general support; S. 2902, Federal Information Modernization Security Act, all provisions, S. 2875, Cyber Incident Reporting Act, all provisions; H.R. 1996, Safe Banking Act of 2021, all provisions; H.R. 1187, ESG Disclosure Simplification Act, all provisions; H.R. 2123, Diversity and Inclusion Data Accountability and Transparency Act, all provisions; H.R. 1277, Improving Corporate Governance Through Diversity Act, all provisions; U.S. Debt Ceiling market impacts education; Budget Reconciliation proposals on bank reporting to IRS on customer account movement and changes to SBA program; Paycheck Protection Program customer impact issues and forgiveness recommendations; interchange and payment system issues general education; DEI issues general impact education; climate risk and climate change, general education; ESG disclosures, general education.

Client expense: $100,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Small Business Administration (SBA)

H.R. 699- Mutual Fund Litigation Reform Act (Emmer) H.R. 1187- Corporate Governance Improvement and Investor Protection Act H.R. 1277- Improving Corporate Governance Through Diversity Act of 2021 (Meeks) H.R. 1996- Secure and Fair Enforcement Banking Act of 2021 (Perlmutter) H.R. 2123- Diversity and Inclusion Data Accountability and Transparency Act (Beatty) H.R. 2265- Financial Exploitation Prevention Act (Wagner) H.R. 2570- Climate Risk Disclosure Act of 2021 (Casten) H.R. 3412- Alleviating Stress Test Burdens to Help Investors Act (Loudermilk) H.R. 3899- Financial Stability Oversight Council Improvement Act (Foster) H.R. 4262- Increasing Investor Opportunities Act (Gonzalez) H.R. 4616- Adjustable Interest Rate (LIBOR) Act of 2021 (Sherman) H.R. 4618- Short Sale Transparency and Market Fairness Act (Waters) S. 374- Improving Corporate Governance Through Diversity Act of 2021 (Menendez) S. 910- Secure and Fair Enforcement Banking Act of 2021 (Merkley) S. 2184- Accelerating Holding Foreign Companies Accountable Act (Kennedy) S. 2684- Consumer Financial Choice and Capital Markets Protection Act of 2021 (Toomey) Improving Disclosure for Investors Act of 2021 Processing fees for delivering investment materials Consolidated Audit Trail SEC Cybersecurity and Data Protection Diverse Investment Advisers Act Enhanced ESG Disclosure by Corporate Issuers

Client expense: $1,720,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of

Monitor H.R.2001, Diversity Data Accountability Act and H.R.2123, Diversity and Inclusion Data Accountability and Transparency Act; monitor draft legislation to require diversity and inclusion data from regulated entities.

Client expense: Not reported · Firm income: $90,000

Government targets: HOUSE OF REPRESENTATIVES, SENATE

1) H.R. 1277, S. 374, Improving Corporate Governance Through Diversity Act of 2021, To amend the Securities Exchange Act of 1934 to require the submission by issuers of data relating to diversity, and for other purposes. Referred to House Financial Services, Feb. 24, 2021 (2) H.R. 1187, ESG Disclosure Simplification Act of 2021. To provide for disclosure of additional material information about public companies and establish a Sustainable Finance Advisory Committee, and for other purposes. Introduced in the House, Feb. 18, 2021 Referred to House Financial Services. (3) H.R. 1087, S 530, Shareholder Political Transparency Act of 2021. To amend the Securities Exchange Act of 1934 to require reporting of certain expenditures for political activities, and for other purposes. (4) H.R. 2123, Diversity Data Accountability Act. To amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to require regulated entities to provide information necessary for the Offices of Women and Minority Inclusion to carry out their duties, and for other purposes. (5) H.R. 1549, S. 588, To establish the Advisory Committee on Climate Risk on the Financial Stability Oversight Council (6) H.R. ___, Diverse Investment Advisers Act. To require companies registered with the Securities and Exchange Commission, and companies registering securities with the Commission, to consider diverse individual-owned and controlled firms when seeking the services of investment advisers, and for other purposes. (7) H.R. ___, Diversity in Financial Regulatory Advisory Committees Act. To require Federal financial agencies to consider at least one gender diverse candidate and one racially- or ethnically-diverse candidate when appointing members of advisory committees, and for other purposes. (8) H.R. ___, Promoting Diversity and Inclusion in Banking Act. To amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to require Federal banking regulators to include a diversity and inclusion component in the Uniform Financial Institutions Rating System, and for other purposes. (9) H.R. ___, Disclosure of Tax Havens and Offshoring Act. To require companies registered with the Securities and Exchange Commission, and companies registering securities with the Commission, to consider diverse individual-owned and controlled firms when seeking the services of investment advisers, and for other purposes. (10) H.R. ___, Climate Risk Disclosure Act. To amend the Securities Exchange Act of 1934 to require certain disclosures relating to climate change, and for other purposes. (11) H.R. ___, Greater Accountability in Pay Act. To amend the Securities Exchange Act of 1934 to require issuers to disclose information on pay raises made to executives and non-executive employees, and for other purposes. (12) H.R ___, Paris Climate Agreement Disclosure Act. To amend the Securities Exchange Act of 1934 to require disclosures related to the Paris Climate Agreement, and for other purposes. (13) S. 606, A bill to require the Board of Governors of the Federal Reserve System and the Securities and Exchange Commission to issue an annual report to Congress projecting and accounting for the economic costs directly and indirectly caused by the impacts of climate change, to require the Federal Retirement Thrift Investment Board to establish a Federal Advisory Panel on the Economics of Climate Change, and for other purposes. Referred to the Committee on Homeland Security and Governmental Affairs, Mar. 4,2021 (14) H.R. 4262, the Increasing Investor Opportunities Act. The bill increases protections for closed-end funds (CEF) and provides retail investors access to private offerings with protections of the Investment Company Act of 1940. (15) H.R. 3899, FSOC nonbank SIFI designation

Client expense: Not reported · Firm income: $30,000

H.R. 2123, Diversity and Inclusion Data Accountability and Transparency Act Build Back Better Act Secure Act 2.0

Client expense: $65,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

Legislation and rulemaking affecting annuities, variable life products and retirement savings including Biden Administration and Congressional proposals on tax reform. EOP - Executive Order on Climate-Related Financial Risk. EOP - Amending Executive Order 13959 - Addressing the Threat from Securities Investments That Finance Communist Chinese Military Companies (E.O. 13974 of Jan 13, 2021 - 86 FR 4875). EOP - Executive Order 13990 - Protecting Public Health and the Environment and Restoring Science to Tackle the Climate Crisis (Federal Register/Vol. 86, No. 14 - Monday, January 25, 2021). FINRA - Comment on Lessons From the COVID-19 Pandemic (Regulatory Notice 20-42). DOL - EBSA - Cybersecurity Guidance for Plan Sponsors, Fiduciaries, Record Keepers and Participants. DOL - EBSA - PTE 2020-02 - Improving Investment Advice for Workers & Retirees. DOL - EBSA - Financial Factors in Selecting Plan Investments - ZRIN 1210-AB95. DOL - EBSA - Improving Investment Advice for Workers and Retirees - ZRIN 1210-ZA29. DOL - EBSA - Pension Benefit Statements-Lifetime Income Illustrations - RIN 1210-AB20. DOL - EBSA - Fiduciary Duties Regarding Proxy Voting and Shareholder Rights - RIN 1210-AB91. DOL - EBSA - Amendment to and Partial Revocation of Prohibited Transaction Exemption (PTE) 84-24 for Certain Transactions Involving Insurance Agents and Brokers, Pension Consultants, Insurance Companies, and Investment Company Principal Underwriters. SEC - Reporting Threshold for Institutional Investment Managers - RIN 3235-AM65. SEC - Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology to Develop and Provide Investment Advice - RIN 3235-AN00 (Release Nos. 34-92766; IA-5833; File No. S7-10-21). SEC - FINRA - Proposed Rule Change to Amend FINRA Rule 2231 (Customer Account Statements) - SR-FINRA-2021-024. SEC - FINRA - Proposed Rule Change to Extend the Effectiveness of Temporary FINRA Rule 3110.17 - SR-FINRA-2021-023. Treasury - IRS Proposed Rulemaking: Updated Life Expectancy and Distribution Period Tables Used for Purposes of Determining Minimum Required Distributions (26 CFR Part 1 [REG-132210-18] RIN 1545-BP11). Proposals at the Department of Treasury for increasing Americans' access to guaranteed lifetime income solutions. Proposals at the Department of Labor for increasing Americans' access to guaranteed lifetime income solutions. Department of Labor rule to expand the scope of persons and entities that would be considered a fiduciary under the Employee Retirement Income Security Act. The Consumer Data Privacy Act - (Sen. Wyden (D-OR) - Discussion Draft). The CECL Consumer Impact and Study Bill of 2019 (H.R. 3182 - 116th Congress). The Corporate Management Accountability Act of 2019 (S.1885/H.R. 4320 - 116th Congress). The Cybersecurity and Financial System Resilience Act of 2019 (H.R. 4458 - 116th Congress). Senior Investor Pandemic and Fraud Protection Act - House Financial Services National Security, International Development and Monetary Policy Subcommittee (Discussion Draft). House Energy and Commerce Committee - Privacy Bill (Discussion Draft). The American Families Plan. The Bipartisan Infrastructure Framework. The Diversity and Inclusion Data Accountability and Transparency Act. (H.R. 2123 - 117th Congress). The Diversity Data Accountability Act (H.R.2001 - 117th Congress). The ESG Disclosure Simplification Act. (H.R. 1187 - 117th Congress). The Financial Exploitation Prevention Act (H.R. 2265 - 117th Congress). The Financial Factors in Selecting Retirement Plan Investment Act (S.1762/H.R. 3387-117th Congress). The Financial Services and General Government Appropriations Act, 2022 (H.R.4345 - 117th Congress). The Improving Corporate Governance Through Diversity Act. (H.R. 1277 - 117th Congress). The INVEST in America Act (H.R. 3684 - 117th Congress). The Primary Regulators of Insurance Vote Act (H.R.3099 - 117th Congress). The Promoting Diversity and Inclusion in Banking Act. (H.R. 2516 - 117th Congress). The Protecting the Right to Organize (PRO) Act (S. 420/H.R. 842-117th Congress). The Secure and Fair Enforcement (SAFE) Banking Act (S.910/H.R. 1996-117th Congress). The Securing and Enabling Commerce Using Remote and Electronic Notarization Act (S.1625/H.R. 3962 - 117th Congress). The Senior Security Act (S.856/H.R.1565 - 117th Congress). The Shareholder Political Transparency Act. (H.R. 1087 - 117th Congress). The Registration for Index Linked Annuities Act of 2020 (S.3795/H.R.6994 - 116th Congress). The E-SIGN Modernization Act. (S.4159 - 116th Congress). The SAFE Banking Act (S.910/H.R. 1996 - 117th Congress). The Registration for Indexed Linked Annuity (RILA) Act (H.R. 4865 - 117th Congress). National Defense Authorization Act for Fiscal Year 2022 (S. 2792/H.R. 4350 - 117th Congress). Elder Justice Reauthorization and Modernization Act of 2021 (S.2674/H.R.4969 - 117th Congress). DOL implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). Treasury/IRS implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). SEC implementation of Division O of the Further Consolidated Appropriations Act 2020 (Public Law No: 116-94). SEC - Implementation and Enforcement of Regulation BI and Form CRS.

Client expense: $140,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

(1) H.R. 1277, S. 374, Improving Corporate Governance Through Diversity Act of 2021, To amend the Securities Exchange Act of 1934 to require the submission by issuers of data relating to diversity, and for other purposes. Referred to House Financial Services, Feb. 24, 2021 (2) H.R. 1187, ESG Disclosure Simplification Act of 2021. To provide for disclosure of additional material information about public companies and establish a Sustainable Finance Advisory Committee, and for other purposes. Introduced in the House, Feb. 18, 2021 Referred to House Financial Services. (3) H.R. 1087, S 530, Shareholder Political Transparency Act of 2021. To amend the Securities Exchange Act of 1934 to require reporting of certain expenditures for political activities, and for other purposes. (4) H.R. 2123, Diversity Data Accountability Act. To amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to require regulated entities to provide information necessary for the Offices of Women and Minority Inclusion to carry out their duties, and for other purposes. (5) H.R. 1549, S. 588, To establish the Advisory Committee on Climate Risk on the Financial Stability Oversight Council (6) H.R. ___, Diverse Investment Advisers Act. To require companies registered with the Securities and Exchange Commission, and companies registering securities with the Commission, to consider diverse individual-owned and controlled firms when seeking the services of investment advisers, and for other purposes. (7) H.R. ___, Diversity in Financial Regulatory Advisory Committees Act. To require Federal financial agencies to consider at least one gender-diverse candidate and one racially- or ethnically-diverse candidate when appointing members of advisory committees, and for other purposes. (8) H.R. ___, Promoting Diversity and Inclusion in Banking Act. To amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to require Federal banking regulators to include a diversity and inclusion component in the Uniform Financial Institutions Rating System, and for other purposes. (9) H.R. ___, Disclosure of Tax Havens and Offshoring Act. To require companies registered with the Securities and Exchange Commission, and companies registering securities with the Commission, to consider diverse individual-owned and controlled firms when seeking the services of investment advisers, and for other purposes. (10) H.R. ___, Climate Risk Disclosure Act. To amend the Securities Exchange Act of 1934 to require certain disclosures relating to climate change, and for other purposes. (11) H.R. ___, Greater Accountability in Pay Act. To amend the Securities Exchange Act of 1934 to require issuers to disclose information on pay raises made to executives and non-executive employees, and for other purposes. (12) H.R ___, Paris Climate Agreement Disclosure Act. To amend the Securities Exchange Act of 1934 to require disclosures related to the Paris Climate Agreement, and for other purposes. (13) S. 606, A bill to require the Board of Governors of the Federal Reserve System and the Securities and Exchange Commission to issue an annual report to Congress projecting and accounting for the economic costs directly and indirectly caused by the impacts of climate change, to require the Federal Retirement Thrift Investment Board to establish a Federal Advisory Panel on the Economics of Climate Change, and for other purposes. Referred to the Committee on Homeland Security and Governmental Affairs, Mar. 4,2021 (14) H.R. 4262, the Increasing Investor Opportunities Act. The bill increases protections for closed-end funds (CEF) and provides retail investors access to private offerings with protections of the Investment Company Act of 1940. (15) H.R. 3899, FSOC nonbank SIFI designation

Client expense: Not reported · Firm income: $10,000

H.R. 2516, Promoting Diversity and Inclusion in Banking Act: to amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to require Federal banking regulators to include a diversity and inclusion component in the Uniform Financial Institutions Rating System, and for other purposes. H.R. 2123, The Diversity and Inclusion Data Accountability and Transparency Act: to amend the Dodd-Frank Wall Street Reform and Consumer Protection Act to require regulated entities to provide information necessary for the Offices of Women and Minority Inclusion to carry out their duties, and for other purposes. Issues related to bank workers including employment discrimination and diversity and hiring data at banks Issues related to private equity regulation

Client expense: $400,000 · Firm income: Not reported

Government targets: Centers For Disease Control & Prevention (CDC), Federal Aviation Administration (FAA), HOUSE OF REPRESENTATIVES, Labor, Dept of (DOL), Natl Mediation Board, SENATE, Transportation, Dept of (DOT), Treasury, Dept of, U.S. Trade Representative (USTR)

H.R. 1996, Safe Banking Act of 2021; H.R. 1187, ESG Disclosure Simplification Act, all provisions; H.R. 2123, Diversity and Inclusion Data Accountability and Transparency Act, all provisions; H.R. 1277, Improving Corporate Governance Through Diversity Act, all provisions; Paycheck Protection Program customer impact issues and forgiveness recommendations; Infrastructure economic impact and funding issues; debt ceiling impacts; interchange and payment system issues general education, DEI issues general impact education, protecting mortgage holders, general education; climate risk and climate change, general education; ESG disclosures, general education.

Client expense: $60,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Small Business Administration (SBA)

H.R. 1996, Safe Banking Act of 2021; H.R. 1187, ESG Disclosure Simplification Act, all provisions; H.R. 2123, Diversity and Inclusion Data Accountability and Transparency Act, all provisions; H.R. 1277, Improving Corporate Governance Through Diversity Act, all provisions; Paycheck Protection Program customer impact issues and forgiveness recommendations; Infrastructure economic impact and funding issues; debt ceiling impacts; interchange and payment system issues general education, DEI issues general impact education, protecting mortgage holders, general education; climate risk and climate change, general education; ESG disclosures, general education.

Client expense: $60,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Small Business Administration (SBA)

Protect the credit union tax exemption; support regulators commitment to facilitate responsible experimentation with artificial intelligence and machine learning technology; recommended that the MRMG support use of AI and ML models and recognize the role of existing vendor due diligence for BSA/AML compliance; Supports Efforts to Reduce Barriers to Innovation; support the recommendation that agencies consider using any authority under existing law or regulation to grant waivers and exemptions from regulations, or to allow pilot programs that provide safe harbors for specific AI applications; support S. 2131, the Improving FHA Support for Small-Dollar Mortgages Act of 2021; reject efforts aimed at blanket suppression of adverse information in credit reports; express concern about the Protecting Your Credit Score Acts right of action; support the Protecting Your Credit Score Acts efforts to hold CRAs accountable for their obligations under GLBA and to improve data security at the CRAs; support for increased funding for the Community Development Financial Institutions (CDFI) Fund and the Community Development Revolving Loan Fund (CDRLF); express concern with allowing the USPS to provide banking services; request that the FHFA and Treasury urgently make the necessary adjustments to the PSPAs to allow credit unions to continue utilizing the GSE Patch until October 2022; encourage the NCUA Board to explore a floating interest rate ceiling that allows for adequate risk-based pricing models and mitigates interest rate risk; encourage the NCUA Board to consider increasing the interest rate ceiling upon its expiration or reaffirm the current 18 percent interest rate ceiling and avoid lowering the rate; support for S.J.Res.15, which would repeal the rule submitted by the Office of the Comptroller of the Currency (OCC) relating to National Banks and Federal Savings Associations as Lenders (the True Lender rule); express concerns about any increased reporting requirements on financial institutions, especially those in the Presidents 2022 budget request; supports H.R. 3958, the Central Liquidity Facility Enhancement Act, which makes the changes to the CLF in section 4016 of the Coronavirus Aid, Relief, and Economic Security Act (CARES Act) permanent; urges the NCUA to extend the IFRs automatic expiration to temporarily amend Part 702, Subpart B (Subpart B) of its prompt corrective action (PCA) regulations to December 31, 2022 to fully provide FICUs the financial planning and operational flexibilities necessary to meet compounding share growth; encourages the NCUA to carefully consider whether the streamlined NWRP model may be permanently adopted; urge FASB to conduct a roundtable with credit unions and other small financial institutions to discuss the impacts of the adoption of the current expected credit losses (CECL); express concerns about the appropriateness of CECL for credit unions; support inclusion of the SSBCI program as part of the overall American Rescue Plan Act of 2021 (ARPA) and express concerns about the wide latitude the statue affords to states in the development and execution of the program; encourage Treasury to provide additional guidance, FAQs, or training that can help CDFI and MDI credit unions prepare for and find opportunities within the SSBCI program; requests that the NCUA minimize examination burdens and understand the difficulties in obtaining independent validations of BSA and OFAC models employed at credit unions; urge agencies to consult the Federal Financial Institutions Examination Councils (FFIEC) examination reports and supervisory information through regular information sharing to better assess changes to the MRMG principles to reflect current practices; fully funding both the CDFI Fund and CDRLF at levels proposed in the Presidents FY2022 budget request, or at least above the FY2021 funding levels; support providing ample funding to support SBAs 7(a) and 504 loan programs; support legislation Expanding Financial Access for Underserved Communities Act, that would allow all types of credit unions to add underserved areas and make it easier to make critical member business loans to small businesses in those areas; urge you to implore the SBA to continue to streamline PPP loan forgiveness process; support H.R. 1471, the Access to Credit for Small Businesses Impacted by the COVID- 19 Crisis Act of 2021; support for MBL cap relief as a step to make it easier for credit unions to do more to help small businesses in light of the pandemic; support the use of alternative credit score models to enhance access to affordable credit for creditworthy borrowers who have historically been marginalized; support for the National Credit Union Administrations (NCUA) interim final rule extending statutory enhancements to the Central Liquidity Facility (CLF); support making the amendments in the CARES Act and their extension in the Consolidated Appropriations Act, 2021 permanent; encourage NCUA to provide broader relief regarding the timeframe for calculating credit union assets to assist those credit unions that have seen remarkable share growth during the pandemic; encourage NCUA to clarify its reservation of authority to subject certain credit unions to the enhanced regulatory requirements in Subpart E; request enhanced coordination with the Consumer Financial Protection Bureau (CFPB) regarding examinations generally and asset threshold measurement for purposes of supervision and examinations; urge NCUA to finalize all remaining COVID-19-related regulatory relief and to take additional steps to provide reform that will help credit unions better serve their communities; support rule permitting credit unions to capitalize interest under Appendix B to Part 741 as well as its proposed rule eliminating the prescribed 45-day limit in its requirements for an overdraft policy in NCUAs lending rule; urge three-year phase-in of the Current Expected Credit Loss (CECL) methodology and reconsider and simplify the NCUAs 2015 risk-based capital (RBC) rule; support modernizing the definition of service facility in its Chartering and Field of Membership Manual to allow credit unions to leverage digital banking platforms to serve broader segments of their communities; urge NCUA modernize its regulations related to compensation in connection with lending to permit comprehensive incentive plans; oppose granting additional authority to NCUA to examine third parties at this time, as NCUA should stay focused on where their expertise lies-regulating credit unions; oppose changes to the structure of the share insurance fund or a premium charge on credit unions; opposes any effort to extend debit interchange price caps or routing requirements to credit cards; Supports the Expanding Financial Access for Underserved Communities Act; support H.J.Res.35, which would repeal OCC True Lender rule; respond to and correct inaccuracies included in letter from the American Bankers Association (ABA) regarding the mergers of banks and credit unions; supports the development of an alternative to the agencys final RBC rule, such as a an off-ramp which aims to reduce the complexity of risk based capital compliance (i.e., the CCULR), or a risk based leverage ratio (RBLR) that is tailored to produce a less burdensome and less complex capital standard; support eliminating tiered risk weighting system and encourages the NCUA to streamline in the RBLR any assessment of concentration risk; support proposed rule adding an S component and redefining the L component of the existing CAMEL rating system, requests that the NCUA release more robust details about their expectations of credit unions meeting any new standards for the S component and what this change will mean for the examination process; express concern about exam inconsistency; urges the Bureau to provide clarity surrounding this rules early intervention requirements and the streamlined loan modification option; support exemptions to proposed pre-foreclosure review period; encourages amendments that provide additional loss mitigation options; FinCENs commitment to implementing the FinCEN Database to combat illicit activity in our U.S. financial system; urge FinCEN to consult with the NCUA and other federal banking regulators to ensure there are consistent examination and supervisory expectations for the use of beneficial ownership information; support the NCUAs proposed revision of its regulations to allow CUSOs to originate all loans that federal credit unions (FCUs) can originate, but requests that the NCUA solicit comment through the notice and rulemaking process before permitting additional CUSO activities; express concerns with the reemergence of rent-a-bank schemes, share our support for S.J.Res.15; urge creating a FFIEC subcommittee on emerging technology (the subcommittee) to monitor the risks posed by fintech companies; urge Congress to ensure that a fintech charter recipient is supervised as if it were a bank; supports the Committee reestablishing the Task Force on Artificial Intelligence and the Task Force on Financial Technology; generally support efforts to support DEI through legislation such as the Diversity and Inclusion Data Accountability and Transparency Act (H.R. 2123), the Promoting Diversity and Inclusion in Banking Act (H.R. 2516), and the Federal Reserve Racial and Economic Equity Act (H.R. 2543); supports the efforts in H.R. 2553 to require a review of federal appraisal standards; generally support H.R. 2547, the Comprehensive Debt Collection Improvement Act, but caution against hampering legitimate debt collection efforts; support H.R. 1996, the SAFE Banking Act of 2021; urge FHFA to adopt a risk-based framework for regulating and supervising the GSEs in the face of climate change; oppose FHFA implementing any policies and requirements for the GSEs that will impede credit unions ability to sell their mortgages; urge FHFA to enhance its liquidity and capital requirements for non-bank sellers and servicers; support Congress taking action through legislation to establish a process for these legacy LIBOR contracts to be appropriately updated; support the Boards efforts to ease the transition to new regulatory standards for community institutions by adopting more flexible standards for measuring asset growth; urge FRB to clarify and extend the scope of Regulation II relief under the IFR to account for new stimulus payments; express concerns about the various product and program constraints contained in recent FHFA-Treasury amendments to the Preferred Stock Purchase Agreements (PSPAs) for Fannie Mae and Freddie Mac; supports the 15-month delay of the General QM definition; urge Bureau to expand access to the National Mortgage Database (NMDB) for market participants; urge FHFA to make necessary adjustments to the PSPAs for credit unions to utilize the GSE Patch until October 2022; support extension of the GSE Patch to minimize market disruptions

Client expense: $720,000 · Firm income: Not reported

Government targets: Commodity Futures Trading Commission (CFTC), Consumer Financial Protection Bureau (CFPB), Defense, Dept of (DOD), Federal Communications Commission (FCC), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Federal Trade Commission (FTC), Financial Crimes Enforcement Network (FinCEN), Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Justice, Dept of (DOJ), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Institute of Standards & Technology (NIST), Office of Management & Budget (OMB), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Small Business Administration (SBA), Treasury, Dept of, Veterans Affairs, Dept of (VA), White House Office

Protect the credit union tax exemption; support regulators commitment to facilitate responsible experimentation with artificial intelligence and machine learning technology; recommended that the MRMG support use of AI and ML models and recognize the role of existing vendor due diligence for BSA/AML compliance; Supports Efforts to Reduce Barriers to Innovation; support the recommendation that agencies consider using any authority under existing law or regulation to grant waivers and exemptions from regulations, or to allow pilot programs that provide safe harbors for specific AI applications; support S. 2131, the Improving FHA Support for Small-Dollar Mortgages Act of 2021; reject efforts aimed at blanket suppression of adverse information in credit reports; express concern about the Protecting Your Credit Score Acts right of action; support the Protecting Your Credit Score Acts efforts to hold CRAs accountable for their obligations under GLBA and to improve data security at the CRAs; support for increased funding for the Community Development Financial Institutions (CDFI) Fund and the Community Development Revolving Loan Fund (CDRLF); express concern with allowing the USPS to provide banking services; request that the FHFA and Treasury urgently make the necessary adjustments to the PSPAs to allow credit unions to continue utilizing the GSE Patch until October 2022; encourage the NCUA Board to explore a floating interest rate ceiling that allows for adequate risk-based pricing models and mitigates interest rate risk; encourage the NCUA Board to consider increasing the interest rate ceiling upon its expiration or reaffirm the current 18 percent interest rate ceiling and avoid lowering the rate; support for S.J.Res.15, which would repeal the rule submitted by the Office of the Comptroller of the Currency (OCC) relating to National Banks and Federal Savings Associations as Lenders (the True Lender rule); express concerns about any increased reporting requirements on financial institutions, especially those in the Presidents 2022 budget request; supports H.R. 3958, the Central Liquidity Facility Enhancement Act, which makes the changes to the CLF in section 4016 of the Coronavirus Aid, Relief, and Economic Security Act (CARES Act) permanent; urges the NCUA to extend the IFRs automatic expiration to temporarily amend Part 702, Subpart B (Subpart B) of its prompt corrective action (PCA) regulations to December 31, 2022 to fully provide FICUs the financial planning and operational flexibilities necessary to meet compounding share growth; encourages the NCUA to carefully consider whether the streamlined NWRP model may be permanently adopted; urge FASB to conduct a roundtable with credit unions and other small financial institutions to discuss the impacts of the adoption of the current expected credit losses (CECL); express concerns about the appropriateness of CECL for credit unions; support inclusion of the SSBCI program as part of the overall American Rescue Plan Act of 2021 (ARPA) and express concerns about the wide latitude the statue affords to states in the development and execution of the program; encourage Treasury to provide additional guidance, FAQs, or training that can help CDFI and MDI credit unions prepare for and find opportunities within the SSBCI program; requests that the NCUA minimize examination burdens and understand the difficulties in obtaining independent validations of BSA and OFAC models employed at credit unions; urge agencies to consult the Federal Financial Institutions Examination Councils (FFIEC) examination reports and supervisory information through regular information sharing to better assess changes to the MRMG principles to reflect current practices; fully funding both the CDFI Fund and CDRLF at levels proposed in the Presidents FY2022 budget request, or at least above the FY2021 funding levels; support providing ample funding to support SBAs 7(a) and 504 loan programs; support legislation Expanding Financial Access for Underserved Communities Act, that would allow all types of credit unions to add underserved areas and make it easier to make critical member business loans to small businesses in those areas; urge you to implore the SBA to continue to streamline PPP loan forgiveness process; support H.R. 1471, the Access to Credit for Small Businesses Impacted by the COVID- 19 Crisis Act of 2021; support for MBL cap relief as a step to make it easier for credit unions to do more to help small businesses in light of the pandemic; support the use of alternative credit score models to enhance access to affordable credit for creditworthy borrowers who have historically been marginalized; support for the National Credit Union Administrations (NCUA) interim final rule extending statutory enhancements to the Central Liquidity Facility (CLF); support making the amendments in the CARES Act and their extension in the Consolidated Appropriations Act, 2021 permanent; encourage NCUA to provide broader relief regarding the timeframe for calculating credit union assets to assist those credit unions that have seen remarkable share growth during the pandemic; encourage NCUA to clarify its reservation of authority to subject certain credit unions to the enhanced regulatory requirements in Subpart E; request enhanced coordination with the Consumer Financial Protection Bureau (CFPB) regarding examinations generally and asset threshold measurement for purposes of supervision and examinations; urge NCUA to finalize all remaining COVID-19-related regulatory relief and to take additional steps to provide reform that will help credit unions better serve their communities; support rule permitting credit unions to capitalize interest under Appendix B to Part 741 as well as its proposed rule eliminating the prescribed 45-day limit in its requirements for an overdraft policy in NCUAs lending rule; urge three-year phase-in of the Current Expected Credit Loss (CECL) methodology and reconsider and simplify the NCUAs 2015 risk-based capital (RBC) rule; support modernizing the definition of service facility in its Chartering and Field of Membership Manual to allow credit unions to leverage digital banking platforms to serve broader segments of their communities; urge NCUA modernize its regulations related to compensation in connection with lending to permit comprehensive incentive plans; oppose granting additional authority to NCUA to examine third parties at this time, as NCUA should stay focused on where their expertise lies-regulating credit unions; oppose changes to the structure of the share insurance fund or a premium charge on credit unions; opposes any effort to extend debit interchange price caps or routing requirements to credit cards; Supports the Expanding Financial Access for Underserved Communities Act; support H.J.Res.35, which would repeal OCC True Lender rule; respond to and correct inaccuracies included in letter from the American Bankers Association (ABA) regarding the mergers of banks and credit unions; supports the development of an alternative to the agencys final RBC rule, such as a an off-ramp which aims to reduce the complexity of risk based capital compliance (i.e., the CCULR), or a risk based leverage ratio (RBLR) that is tailored to produce a less burdensome and less complex capital standard; support eliminating tiered risk weighting system and encourages the NCUA to streamline in the RBLR any assessment of concentration risk; support proposed rule adding an S component and redefining the L component of the existing CAMEL rating system, requests that the NCUA release more robust details about their expectations of credit unions meeting any new standards for the S component and what this change will mean for the examination process; express concern about exam inconsistency; urges the Bureau to provide clarity surrounding this rules early intervention requirements and the streamlined loan modification option; support exemptions to proposed pre-foreclosure review period; encourages amendments that provide additional loss mitigation options; FinCENs commitment to implementing the FinCEN Database to combat illicit activity in our U.S. financial system; urge FinCEN to consult with the NCUA and other federal banking regulators to ensure there are consistent examination and supervisory expectations for the use of beneficial ownership information; support the NCUAs proposed revision of its regulations to allow CUSOs to originate all loans that federal credit unions (FCUs) can originate, but requests that the NCUA solicit comment through the notice and rulemaking process before permitting additional CUSO activities; express concerns with the reemergence of rent-a-bank schemes, share our support for S.J.Res.15; urge creating a FFIEC subcommittee on emerging technology (the subcommittee) to monitor the risks posed by fintech companies; urge Congress to ensure that a fintech charter recipient is supervised as if it were a bank; supports the Committee reestablishing the Task Force on Artificial Intelligence and the Task Force on Financial Technology; generally support efforts to support DEI through legislation such as the Diversity and Inclusion Data Accountability and Transparency Act (H.R. 2123), the Promoting Diversity and Inclusion in Banking Act (H.R. 2516), and the Federal Reserve Racial and Economic Equity Act (H.R. 2543); supports the efforts in H.R. 2553 to require a review of federal appraisal standards; generally support H.R. 2547, the Comprehensive Debt Collection Improvement Act, but caution against hampering legitimate debt collection efforts; support H.R. 1996, the SAFE Banking Act of 2021; urge FHFA to adopt a risk-based framework for regulating and supervising the GSEs in the face of climate change; oppose FHFA implementing any policies and requirements for the GSEs that will impede credit unions ability to sell their mortgages; urge FHFA to enhance its liquidity and capital requirements for non-bank sellers and servicers; support Congress taking action through legislation to establish a process for these legacy LIBOR contracts to be appropriately updated; support the Boards efforts to ease the transition to new regulatory standards for community institutions by adopting more flexible standards for measuring asset growth; urge FRB to clarify and extend the scope of Regulation II relief under the IFR to account for new stimulus payments; express concerns about the various product and program constraints contained in recent FHFA-Treasury amendments to the Preferred Stock Purchase Agreements (PSPAs) for Fannie Mae and Freddie Mac; supports the 15-month delay of the General QM definition; urge Bureau to expand access to the National Mortgage Database (NMDB) for market participants; urge FHFA to make necessary adjustments to the PSPAs for credit unions to utilize the GSE Patch until October 2022; support extension of the GSE Patch to minimize market disruptions

Client expense: $720,000 · Firm income: Not reported

Government targets: Commodity Futures Trading Commission (CFTC), Consumer Financial Protection Bureau (CFPB), Defense, Dept of (DOD), Federal Communications Commission (FCC), Federal Deposit Insurance Corporation (FDIC), Federal Housing Finance Agency (FHFA), Federal Reserve System, Federal Trade Commission (FTC), Financial Crimes Enforcement Network (FinCEN), Government Accountability Office (GAO), HOUSE OF REPRESENTATIVES, Homeland Security, Dept of (DHS), Housing & Urban Development, Dept of (HUD), Internal Revenue Service (IRS), Justice, Dept of (DOJ), Labor, Dept of (DOL), Natl Credit Union Administration (NCUA), Natl Institute of Standards & Technology (NIST), Office of Management & Budget (OMB), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Small Business Administration (SBA), Treasury, Dept of, Veterans Affairs, Dept of (VA), White House Office

H.R. 2123, Diversity and Inclusion Data Accountability and Transparency Act S. 1762, Financial Factors in Selecting Retirement Plan Investment Act

Client expense: $90,000 · Firm income: Not reported

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of

Monitor H.R.2001, Diversity Data Accountability Act and H.R.2123, Diversity and Inclusion Data Accountability and Transparency Act; monitor draft legislation to require diversity and inclusion data from regulated entities.

Client expense: Not reported · Firm income: $90,000

Government targets: HOUSE OF REPRESENTATIVES, SENATE, Treasury, Dept of